DFX Intelligence

R••••• L•• M••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor29 years in industry

R••••• L•• M••••

Advisor at F•••••• C•••••• A••••••• I••

CLERMONT, FL

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Search this name across graphsid dfx:ria:0ffd28e6-4422-57ab-7d97-e7b749cbed52

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 16, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: F•••••• C•••••• A••••••• I••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jun 18, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••••• C•••••• A••••••• I••	State registered	Sep 30, 2016	n/a	yes	CLERMONT, FL	Current employment
B••••••••• L••	Former SEC adviser	Apr 9, 2009	Jun 28, 2012	no	CHICAGO, IL\|WINDERMERE, FL\|BOCA RATON, FL\|WAKE FOREST, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••••• L••	F•••••• C•••••• A••••••• I••	Jun 28, 2012	Sep 30, 2016	1,555	Firm change after gap	Other
G•••••••• F••••••••• I••	B••••••••• L••	Apr 3, 2009	Apr 9, 2009

Relationships

Registered with (3)

→ F•••••• C•••••• A••••••• I••Registered adviserregistration: current employment
Sep 30, 2016 to presentfactForm ADV
→ B••••••••• L••Registered adviserregistration: previous registration
Apr 9, 2009 to Jun 28, 2012factForm ADV
→ G•••••••• F••••••••• I••Registered adviserregistration: previous registration
Oct 16, 2006 to Apr 3, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0ffd28e6-4422-57ab-7d97-e7b749cbed52
First observed: Oct 16, 2006
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.